JOHN A. SCHULTZ, APPELLANT,
v.
UNITED STATES OF AMERICA, APPELLEE

4th Cir. | 1974-03-11
No. 73-1406
493 F.2d 1225 United States Court of Appeals for the Fourth Circuit (1974) Positive Treatment
Cited by 2 cases

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Holding

The court held that a reasonable jury could conclude the taxpayer intended to benefit his own children, not his brother's, by the reciprocal gifts.


Facts & Procedural History

The taxpayer made reciprocal gifts of closely held stock to his children and his brother's children over several years. The taxpayer claimed annual gi…

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Opinion of the Court
PER CURIAM:

PER CURIAM:

On February 17, 1965, the taxpayer gave forty-four shares of Jersey Shore Steel Company, a closely held corporation, to each of his three children, and to each of the three children of his brother, Charles. On the same day, Charles gave the same number of shares to each of his children and to each child of the taxpayer. Similar reciprocal transactions were effected on February 4, 1966, and February 14, 1967.

The taxpayer claimed an annual $3,000 exclusion with respect to each year for each of the nephews and nieces. This claim was disallowed upon the basis that the primary purpose of the reciprocal transactions was for each brother to effect enlarged gifts to his own children.

Relying on United States v. Estate of Grace, 395 U.S. 316, 89 S.Ct. 1730, 23 L.Ed.2d 332 (1969), the district court held that “actual intent” was “immaterial” and that the only issue was the “nature and operative effect of the transfers themselves.” Thereupon, he directed a verdict for the government.

We need not reach the issue of whether this rule of Grace applies with equal force in the area of indirect gifts, for we hold that, on the facts of this case, a reasonable jury could have concluded only that the taxpayer intended to benefit his children, rather than those of his brother, by the gifts in question.

Affirmed.


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